James Richard Mertz

Employer firm

Focus Financial CRD 116140

$6.82B regulatory AUM 105 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/1996 → 02/2018
  Sii Investments, Inc.
  Edina, MN
• 02/2018 → 01/2024
  Lpl Financial Llc
  Bloomington, MN
• 01/2024 → Present
  Osaic Wealth, Inc.
  Bloomington, MN
• 01/2024 → Present
  Focus Financial Network Inc
  Bloomington, MN

Previous Registrations

• 2018-02-14 → 2024-01-19
  Lpl Financial Llc
  Bloomington, MN
  Bloomington, MN
• 1996-12-20 → 2018-02-14
  Sii Investments, Inc.
  Bloomington, MN
  Edina, MN
  Appleton, WI

Other Businesses

1. 02/14/2018 - Mertz Wealth Strategies - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 1989 - Time Spent 25%. 2. MERTZ WEALTH STRATEGIES POSITION: Owner NATURE: Scorp INVESTMENT RELATED: No NUMBER OF HOURS: 65 SECURITIES TRADING HOURS: 60 START DATE: 01/01/1990 ADDRESS: 8100 Penn Ave S, Suite 175, Bloomington MN 55431, United States DESCRIPTION: prepare income tax 3. FOCUS FINANCIAL NETWORK INC POSITION: Financial Advisor NATURE: RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 152 SECURITIES TRADING HOURS: 130 START DATE: 01/12/2024 ADDRESS: 8100 PENN AVE S UNIT 175, Bloomington MN 55431, United States DESCRIPTION: Financial advisory activities. Financial Planning tax planning and strategies. Retirement planning

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-12-22
• S63 Uniform Securities Agent State Law Examination
  1981-08-17

Designations

• Certified Financial Planner